• Finance Vacancy at CLG Securities Limited

  • Posted on: 12 January, 2017 Deadline: 31 January, 2017
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  • CLG Securities Limited - A reputable Stock Broking Firm, is recruiting to fill the position below:

    Compliance Officer

     

    Job Description

    • To support the company to discharge their responsibilities relating to compliance risk management process as required by relevant regulatory requirements, applicable code of conduct and minimum standards.
    • Assist line management and other members of staff by providing advice to guide in discharging their responsibilities to ensure compliance with all statutory, regulatory and internal policy requirements.
    • Protect the reputation of the company
    • Avoid the institution of legal action against the company.
    • Ensure good working relation with regulators.
    • To maintain a good working relationship with the Securities and Exchange Commission(SEC)
    • To guide all members of staff to act with integrity, diligence, and in an ethical manner in dealing with all clients.
    • Ensure the company’s timely compliance with all regulatory requirements including but not limited to all periodic and adhoc regulatory reports and obligations
    • Ensure the appropriate use of compliance risk management tools within the business.
    • Analyse and identify compliance risks, processes and controls and provide advice to management, relevant committees and the employees in order to effectively manage compliance issues.
    • The Compliance Officer shall be well trained in the Rules and Guidelines and shall attend regular training sessions as organized or supported by the CBN or SEC.
    • Responsible for educating the other personnel of periodic updates and adjustments as may be made by SEC from time to time.
    • Ensure that trainings tailored for the business unit are signed off and, if appropriate, assist in the delivery of the training and awareness.
    • Customise, if necessary, Group Minimum Standards and facilitate, in consultation with Group Compliance, the process of adoption thereof by the business units.
    • Request dispensation when policies and procedures deviate from that of minimum standards.
    • Remain aware of regulatory & legislative developments, and practices of regulatory authorities, which are relevant to the company.
    • Assist the CEO and business units in implementing existing, new and/or amended regulatory requirements.
    • Responsible for the management of the company Procedures Manual and monitoring company’s adherence to all business procedures
    • Ensure a coordinated / aligned strategic approach to and position of, emerging regulatory developments.
    • To be actively involved in relevant industry/regulatory committees.

    Requirements

    • First Degree in a relevant field including Banking, Finance, Accounting, Business Management, Law, Economics or a Chartered Secretary.
    • Master's Degree and/or relevant professional qualifications would be an added advantage
    • Good Compliance and Risk Management Knowledge
    • Excellent use of MS Word and MS Excel
    • Good understanding of the Investment Banking, Stockbroking processes and SEC's regulatory framework
    • Good understanding of global financial markets
    • Good research skills
    • Minimum of 3-5 years working experience in financial services preferably in an Investment Banking environment or stockbroking with at least 2 years of Compliance experience.

    Method of Application

    Applicants should send their applications to: hr@clgsecurities.com

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